DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

D••••• C•••••••• G••••••

O•••• W•••••• I•••BD affiliatedMt. Vernon, Wa dual registrantIAPD 1207944

Feed of 09/14/2026

Also filed as Dan G••••••

At current firm

2 y

since Jun 14, 2024

In the industry

42 y

since Nov 28, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Jun 14, 2024 · Mt. Vernon, Wa
O•••• A••••••• S•••••••• L•• BD affiliated
Nov 8, 2024 to Feb 18, 2025 · Atlanta, Ga
S••••••••• A•••••• A•••••••• I••• former
Nov 6, 2020 to Jun 14, 2024 · Mercer Island, Wa
A•••• P•••• A••••••• former
Nov 6, 2020 to Nov 8, 2024 · Mercer Island, Wa
K•• F•••••••• S•••••••• I•• former
Apr 1, 2014 to Nov 6, 2020 · Seattle, Wa
G•••• W••••••• L••• unclassified
Sep 20, 2010 to Mar 24, 2014 · Woodstock, Il
C•••• C•••••• M••••••••• G•••• I•• BD affiliated
Feb 28, 2005 to Nov 2, 2010 · Phila, Pa
S••••••• F•••••••• S•••••••• I••• former
Feb 6, 2004 to Nov 11, 2004 · Woodstock, Il
W••••••••• F•••••••• G••••• I••• unclassified
Oct 16, 2003 to Feb 4, 2004 · Woodstock, Il

Moves

a registration end followed by a registration begin elsewhere

O•••• A••••••• S•••••••• L•• to no registered destination
left Feb 18, 2025 · Departure, no registered destination
A•••• P•••• A••••••• to O•••• W•••••• I•••
left Nov 8, 2024, registered Jun 14, 2024 (-147 days) · channel change inside one enterprise, not a move · moved with a team
S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••
left Jun 14, 2024, registered Nov 6, 2020 (-1316 days) · channel change inside one enterprise, not a move · moved with a team
K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••
left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
G•••• W••••••• L••• to K•• F•••••••• S•••••••• I••
left Mar 24, 2014, registered Apr 1, 2014 (8 days) · Other
C•••• C•••••• M••••••••• G•••• I•• to G•••• W••••••• L•••
left Nov 2, 2010, registered Sep 20, 2010 (-43 days) · Other
S••••••• F•••••••• S•••••••• I••• to C•••• C•••••• M••••••••• G•••• I••
left Nov 11, 2004, registered Feb 28, 2005 (109 days) · Other
W••••••••• F•••••••• G••••• I••• to S••••••• F•••••••• S•••••••• I•••
left Feb 4, 2004, registered Feb 6, 2004 (2 days) · Other

Signals

D••••• C•••••••• G•••••• no longer registered at O•••• A••••••• S•••••••• L••; no later IA registration on IAPD
Feb 18, 2025 · Advisor departure · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address